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事关券商交易系统稳定性!中证协出手!
证券时报·2025-08-07 14:48

Core Viewpoint - The China Securities Association is seeking industry feedback on the draft standard for the stability assurance system of securities industry information systems, aiming to enhance the security and stability of network and information systems in securities firms [1][5]. Group 1: Current Issues in System Stability - The securities market requires high transaction continuity, and any anomalies in trading systems can directly impact investor rights and market order [2]. - The complexity of system architecture has significantly increased due to the widespread adoption of technologies like cloud computing and distributed architecture, making traditional maintenance models inadequate [2]. - Current practices in system stability management include change control, emergency response, and monitoring mechanisms, but the depth of application of technologies like distributed architecture and microservices has led to exponential complexity [2]. - There is a lack of proactive risk detection capabilities, with most risk perception being reactive, which complicates the ability to preemptively address potential issues [2]. Group 2: Proposed "Three-in-One" Assurance System - The draft standard aims to integrate best practices from leading securities firms to provide a practical framework for stability assurance, promoting digital, standardized, and collaborative development across the industry [3][4]. - The standard emphasizes the need for a flexible framework that accommodates the diverse needs of institutions of varying sizes, incorporating advanced technologies like AI and big data into stability management processes [4]. - The "Three-in-One" framework includes organizational assurance, institutional regulations, and process assurance, focusing on key activities and evaluation elements across ten core processes [4]. Group 3: Industry Collaboration and Future Directions - Nearly 20 industry experts contributed to the drafting of the standard, which focuses on enhancing operational resilience and non-functional requirements through digital means [5]. - The standard establishes measurable stability evaluation factors, such as "fault monitoring discovery rate" and "recovery capability target rate," to create a closed-loop improvement mechanism [5]. - The stability of information systems in the securities industry is highlighted as a core foundation for ensuring the safe operation of financial markets, with various policy documents emphasizing the need to strengthen stability assurance capabilities [5].